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完整後設資料紀錄
DC 欄位 | 值 | 語言 |
---|---|---|
dc.contributor.advisor | 汪信君 | |
dc.contributor.author | Chih-Wei Hsu | en |
dc.contributor.author | 許自瑋 | zh_TW |
dc.date.accessioned | 2021-06-16T09:40:26Z | - |
dc.date.available | 2020-02-17 | |
dc.date.copyright | 2017-02-17 | |
dc.date.issued | 2017 | |
dc.date.submitted | 2017-02-07 | |
dc.identifier.citation | 一、中文部分(按筆劃排列)
(一)書籍 丘宏達,現代國際法 (2006)。 丘宏達著、陳純一修訂,現代國際法 (2012)。 李榮謙、方耀,國際金融小辭典 (2013)。 何招凡,全球執法合作:機制與實踐 (2013)。 吳庚,行政法之理論與實用 (2011)。 林錫堯,行政法要義 (2006)。 姜皇池,國際公法導論 (2008)。 威廉・布里坦卡林著,李芳齡譯,境外共和國 (2007)。 陳敏,行政法總論 (2007)。 許春金,犯罪學 (2007)。 楊日然,法理學論文集 (1997)。 臺灣高等法院檢察署主編,2011年兩岸檢察實務研討會會議實錄 (2011)。 羅昌發,國際貿易法:世界貿易組織下之法律新秩序—國際經貿法研究(五)(2010)。 (二)期刊文獻 王文宇,金融法發展專題回顧:國際視野與本土反思 (2011),臺大法學論叢第40卷特刊。 王震宇,審慎措施於金融服務貿易下之法律問題研析—以兩岸金融監理為例(2013),中華國際法與超國界法評論第9卷第2期。 王儷容,MOU簽訂後兩岸證券業合作契機與展望 (2010),證券櫃檯第145期。 方萬富,淺談利用境外紙上公司從事犯罪問題 (2011),檢察新論第10期。 朱朝亮,偵查實務講座:第三講—國際刑事司法互助之模式及其運用(一)國際司法互助之總則:國際管轄原則、司法互助之義務、司法互助之權利 (2011),月旦法學教室第99期。 朱朝亮,偵查實務講座:第三講—國際刑事司法互助之模式及其運用(二)國際司法互助之總則:拒絕原則、審查原則、傳遞管道 (2011),月旦法學教室第101期。 呂丁旺,情資交換與調查取證界限及辨析 (2015),司法周刊第1739期。 汪信君,信用評等機構監理規範之發展與困境:問責基礎與利益衝突 (2013),臺大法學論叢第 42 卷第 4 期。 李建良,行政法:第九講 — 依法行政原則 - 法律優位原則 (2006),月旦法學教室第48期。 林依仁,民主正當性成分與其程度 (2012),政大法學評論第129期。 陳玉珍,兩岸金融監督管理合作之若干思考 (2011),檢察新論第10期。 陳自強、蔡英欣,Soft Law之形成 — 以國際海事委員會立法活動為中心 (2011),月旦法學雜誌第190期。 陳清秀,租稅天堂之租稅對策 (2010),台灣法學雜誌第151期。 陳麗娟,G20金融發展與歐盟金融體系相互影響之研究 (2013),法學新論第42期。 曾國烈,G20領袖會議後國際金融監理新形勢與我國因應之道 (2009),金融聯合徵信雙月刊第7期。 黃元冠,全球化對檢察官司法互助之衝擊與展望 (2008),檢察新論第4期。 黃謀信,「犯罪情資交換」之定性 (2011),刑事法雜誌第55卷第4期。 程明修,憲法基本原則:第二講—民主國原則(一)(2004),月旦法學教室第18期。 楊光華,WTO服務貿易經濟整合之規範 (2009),政大法學評論第112期。 楊雲驊,國際刑事司法互助取得證據之證據能力判斷 (2013),「國際刑事司法互助的趨勢」學術研討會論文集。 廖凡,國際金融監管的新發展:以G20和FSB為視角 (2012),武大國際法評論第15卷第1期。 廖宗聖、林燦璋,主權觀念轉變下的刑事司法互助模式之探討 (2011),國立中正大學法學集刊第35卷。 漆彤,國際金融軟法的效力與發展趨勢 (2012),環球法律評論第2期。 潘雅慧、何慧麗,第六章:BCBS與IMF因應全球金融危機之改革措施及政策建議,中央銀行98年12月全球金融危機專輯。 蔡碧玉,我國國際刑事司法互助的現況與發展 (2009),軍法專刊第55卷第1期。 鄭文中、陳文禹,金融監理之國際互助初探—瑞士法治之觀察 (2012),台灣國際法季刊第9卷第4期。 (三)其他 中央銀行,金融穩定報告,98年5月,第3期。 立法院第7 屆第7 會期第11 次會議議案關係文書,院總第 1374 號政府提案第12567 號。 自由時報,第三次江陳會 426南京舉行(2009),http://news.ltn.com.tw/news/politics/breakingnews/203713. 自由時報,傳兆豐案朝內線交易偵辦,蔡友才年初持兆豐金股票321張(2016),http://news.ltn.com.tw/news/society/breakingnews/1825100. 行政院及所屬各機關出國報告,出席 2014 年「國際證券管理機構組織(IOSCO)第 39 屆年會」報告。 行政院及所屬各機關出國報告,出席「國際證券管理機構組織(IOSCO) 2009年新興市場委員會」報告。 行政院金融監督管理委員會,簽訂兩岸金融監理合作瞭解備忘錄專案報告,立法院財政委員會第十六次全體委員會議,2009年11月。 法務部,經濟犯罪辦案手冊,99年7月。 財團法人保險事業發展中心,國際保險監理官協會(IAIS)秘書處考察報告。 國際證券管理機構組織,諮商、合作與資訊交換多邊瞭解備忘錄(中譯文),http://no06.mofa.gov.tw/mofatreatys/ShowPicOut.aspx?FileFolder=00&FileName=0020110315_C.pdf. 顏慧欣,兩岸金融監理合作MOU之性質與未來,臺灣新社會智庫,2010年3月8日,http://www.taiwansig.tw/index.php/政策報告/科技經濟/2303-兩岸金融監理合作MOU之性質與未來。 顏慧欣,兩岸金融MOU不可承受之重,http://www.cier.edu.tw/ct.asp?xItem=10538&ctNode=61&mp=1. 臺灣金融監督管理委員會與紐約州銀行局相互合作瞭解備忘錄(中文翻譯參考),http://no06.mofa.gov.tw/mofatreatys/ShowPicOut.aspx?FileFolder=00&FileName=00267_C.pdf. 臺灣臺北地方法院檢察署新聞稿,發稿日期:105年9月20日,http://www.tpc.moj.gov.tw/HitCounter.asp?xItem=446286&mp=009. 蘋果日報,北檢自爆兆豐洗錢案陷瓶頸,原因竟是…(2016),http://www.appledaily.com.tw/realtimenews/article/new/20160921/953408. 最高法院99年台上字第5926號判決。 臺灣高等法院103年度金上重訴字第14號判決。 臺灣高等法院101年度金上重更(二)字第9號判決。 臺灣高等法院99年金上重更(一)字第15號判決。 臺灣高等法院99年度金上重訴字第75號判決。 臺灣高等法院97年度上重訴字第54號判決。 臺灣臺北地方法院101年度金重訴字第7號判決。 臺灣臺北地方法院101年度金訴字第29號判決。 臺灣臺北地方法院101年度金訴字第49號判決。 臺灣臺北地方法院98年度金重訴字第40號判決。 臺灣臺北地方法院93年重訴字第42號判決。 二、英文部分(按字母順序排列) (一)書籍 Abbell, Michael, Obtaining Evidence Abroad in Criminal Cases (2010) Alexander, Kern et al., Global Governance of Financial Systems (2006). Alexandroff, Alan S. & Andrew F. Cooper eds., Rising States, Rising Institutions: Challenges for Global Governance (2010). Amerasinghe, C.F., Principles of the Institutional Law of International Organizations (2005). Avgouleas, Emilios, Governance of Global Financial Markets – The Law, the Economics, the Politics (2012). Bernhardt, Rudolf ed., Encyclopedia of Public International Law (2000). Bevir, Mark eds., The SAGE Handbook of Governance (2011). Brummer, Chris, Soft law and the Global Financial System: Rule Making in the 21st Century (2015). Brummer, Chris, Soft law and the Global Financial System: Rule Making in the 21st Century (2012). Bogan, C.E. & M.J. English, Benchmarking for Best Practices: Winning Through Innovative Adaptation (1994). Byers, M., Role of Law in International Politics (2000). Chayes, Abram & Antonia Handler Chayes, The New Sovereignty: Comliance with International Regulatory Agreements (1995). Goldstein, Judith L. et al. eds., Legalization and World Politics (2001). Griffith-Jones, Stephany et al. eds., The Financial Stability Board: An Effective Fourth Pillar of Global Economic Governance? (2010). Hajnal, Peter I., The G8 Systems and the G20: Evolution, Role and Documentation (2007). International Monetary Fund, Switzerland: Financial Sector Assessment Program—Factual Update—IOSCO Objectives and Principles of Securities Regulation, IMF Country Report No. 07/202 (2007). International Monetary Fund, Switzerland: Detail Assessment of Implementation—IOSCO Objectives and Principles of Securities Regulation, IMF Country Report No. 14/266 (2014). Jennins, Robert & Arthur Watts, Oppenheim’s International Law (1992). Krasner, Stephen D., Sovereignty: Organized Hypocrisy (1999). Lo, Chang-Fa, WTO-Plus in Free Trade Agreements (2010). Risse-Kappen, Thomas, Bringing Transnational Relations Back In: Non-state Actors, Domestic Structures and International Institutions (1995). Slaughter, Anne-Marie, A New World Order (2004). Weiss, Edith Brown ed., Selected Essays on Understanding International Institutions and the Legislative Process (2001). (二)期刊文獻 Alston, Philip, The Myopia of the Handmaidens: International Lawyers and Globalization (1997), European Journal of International Law 8. Austin, Janet, IOSCO’s Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information – A Model for International Regulatory Convergence? (2012), Criminal Law Forum 23(4). Austin, Janet, The Power and Influence of IOSCO in Formulating and Enforcing Securities Regulations (2015), Asper Review of International Business and Trade Law 15. Beardsley, Scott C. et al, Managing Regulation in a New Era (2009), The McKinsey Quarterly 1. Béguin, Pierre-André, Insider trading in Switzerland after Santa Fe (1983), International Financial Law Review. Brummer, Chris, How International Financial Law Works (and How it Doesn’t) (2011), Georgetown Law Journal 99. Brummer, Chris, Post-American Securities Regulation (2010), California Law Review 98. Brummer, Chris, Why Soft Law Dominates International Finance — and not Trade (2010), Journal of International Economic Law 13. Cho, Sungjoon & Claire R. Kelly, Promises and Perils of New Global Governance: A Case of the G20 (2011-12), Chicago Journal of International Law 12. Cunha, Rita, The IOSCO Multilateral Memorandum of Understanding (MMOU): An International Benchmark for Securities Enforcement (2010), Uniform Law Review 15. Dunant, Olivier & Michele Wassmer, Swiss Bank Secrecy: Its Limits under Swiss and International Laws (1988), Case Western Reserve Journal of International Law 20. Freis, Jr., James H., An Outsider’s Look into the Regulation of Insider Trading in Germany: A Guide to Securities, Banking, and Market Reform in Finanzplatz Deutschland (1996), Boston College International and Comparative Law Review 19. Gadinis, Stavros, The Financial Stability Board: The New Politics of International Financial Regulation (2013), Texas International Law Journal 48(2). Gersen, Jacob & Eric A. Posner, Soft Law: Lessons from Congressional Practice (2008), Stanford Law Review 61. Harari, Maurice & Alain Hirsch, The Swiss Perspective on International Judicial Assistance (1987), University of Pennsylvania Journal of International Business Law 9(3). Ikenberry, G. J., The Global Governance Crisis (2006), The Interdependent 4. Lee, Emily, The Soft Law Nature of Basel III and International Financial Regulations (2014), Journal of International Banking Law and Regulation 29(10). Lee, Lawrence L. C., The Basle Accords as Soft Law: Strengthening International Banking Supervision (1998-1999), Virginia Journal of International Law 39. Marcacci, Antonio, IOSCO: the World Standard Setter for Globalized Financial Markets (2012), Richmond Journal of Global Law and Business 12. Marcacci, Antonio, IOSCO and the Spreading of a US-Like Regulatory Philosophy around the World (2014), European Business Law Review 25. Meyer, Swiss Banking Secrecy and Its Legal Implications in the United States (1978), New England Law Review 14. Meyer, The Banking Secret and Economic Espionage in Switzerland (1955), George Washington Law Review 23. Navickas, JoAnn M., Swiss Banks and Insider Trading in the United States (1984), International Tax and Business Lawyer 2. Perez, Antonio F., Who Killed Sovereignty? Or: Changing Norms of Concerning Sovereignty In International Law (1996), Wisconsin International Law Journal 14. Picciotto, Sol, Networks in International Economic Integration: Fragmented States and the Dilemmas of Neo-liberalism (1997), Northwestern Journal of International Law and Business 17. Psutka, Stephen J., Dennis Levine, an Exception or the Norm: Inside Trading and Foreign Bank Secrecy (1987), Syracuse Journal of International Law and Commerce 14(1). Raustiala, Kal, The Architecture of International Cooperation: Transgovernmental Networks and the Future of International Law (2002), Virginia Journal of International Law 43(1). Silets, H.L., Prying Open Swiss Vaults: the SEC’s Investigation of Insider Trading in the Santa Fe Case (1986), American University Journal of International Law and Policy 1(1). Slaughter, Anne-Marie, Disaggregated Sovereignty: Toward the Public Accountability of Global Government Networks (2004), in Government and Opposition. Slaughter, Anne-Marie, Power and Legitimacy of Government Networks (2004), in Governance in the 21st Century: The Partnership Principle. Slaughter, Anne-Marie, Sovereignty and Power in a Networked World Order (2004), Stanford Journal of International Law 40. Slaughter, Anne-Marie, Andrew S. Tullumelo & Stepan Wood, International Law and International Relations Theory: A New Generation of Interdisciplinary Scholarship (1998), American Journal of International Law 92(3). Sommer, Jr., A.A., IOSCO: Its Mission and Achievement Symposium: Internationalization of Securities (1996), Northwestern Journal of International Law and Business 17. Verdier, Pierre-Hugues, Transnational Regulatory Networks and Their Limits (2009), Yale Journal of International Law 34. Zaring, David, International Law by Other Means: The Twilight Existence of International Financial Regulatory Organizations (1998), Texas International Law Journal 33. Zaring, David, Best Practices (2006), New York University Law Review 81. (三)法院判決 SEC v. Colin McCabe, 2:13–cv–00161–TS–PMW (D. Utah), May 22, 2015. SEC v. Arnold McClellan and Annabel McClellan, 1:10-cv-5412-JCS (N.D.Ca.), Complaint, Nov. 30, 2010. SEC v. Richard Bruce Moore, 13-cv-2514 (S.D.N.Y.), Complaint, April 16, 2013. SEC. v. Certain Unknown Purchasers of the Common Stock and Call Options for the Common Stock of Santa Fe International Corporation et. al., 817 F.2d 1018 (2d Cir. 1987). Switzerland: Swiss Supreme Court Opinion Concerning Judicial Assistance in the Santa Fe Case, 22 I.L.M. 785 (July 1983) Switzerland: Swiss Supreme Court Opinion In The Second Santa Fe Case Concerning Judicial Assistance, 24 I.L.M. 747 (May 1985) (四)美國法律及立法文件 15 U.S.C. §78u(a)(1); Pub.L.No. 100-704, §6 (1988). 15 U.S.C. §78u(b); Pub.L.No. 100-704, §6 (1988). 15 U.S.C. §78u(c); Pub.L.No. 100-704, §6 (1988). Crime and Secrecy: The Use of Offshore Banks and Companies, 1983: Hearings Before the Permanent Subcomm. on Investigation of the Senate Comm. on Governmental Affairs, 98th Cong., 1st Sess. 318 (1983). Federal Response to OPECs Country Investments in the United States (Part 2: Investment in Sensitive Sectors of the U.S. Economy, Kuwait Petroleum Corp. Takeover of Santa Fe International Corp.): Hearings Before a Subcomm. of the House Comm. on Gov't Operations, 97th Cong., 1st Sess. 47 (1981) Foreign Bank Secrecy and Bank Records: Hearings on H.R. 15073 Before the House Comm. On Banking and Currency, 91st Cong., 1st and 2nd Sess. 20 (1969-70) (statement of Robert N. Morgenthau, U.S. Attorney for the Southern District of New York). H.R. Rep. No. 100-910, Insider Trading and Securities Fraud Enforcement Act of 1988, 100th Cong., 2d Sess. 29 (1988). (五)其他 Agreement XVI of the Swiss Bankers' Association with Regard to the Handling of Requests for Information from the Securities and Exchange Commission of the United States on the Subject of Misuse of Inside Information, 14 SEC. REG. & L. REP. (BNA) No. 39, (1982) Alexander, Kern, Karin Lorez, Martin Zobl & Daniel Thürer, The Legitimacy of the G20 – A Critique Under International Law, papers.ssrn.com/sol3/papers.cfm?abstract_id=2431164. Allen & Overy, U.S. Insider Trading Enforcement Goes Global, May 2th, 2013, https://corpgov.law.harvard.edu/2013/05/26/u-s-insider-trading-enforcement-goes-global. Basel Committee on Banking Supervision, Basel Committee on Banking Supervision Charter (2013). Basle Committee on Banking Supervision, Core Principles for Effective Banking Supervision, Basle, September 1997, http://www.bis.org/publ/bcbs30a.pdf. Basel Committee on Banking Supervision, Organisation Chart, https://www.bis.org/bcbs/organigram.pdf. Basel Committee on Banking Supervision, Strengthening the Resilience of the Banking Sector (2009). Financial Stability Board, Charter of the Financial Stability Board. Financial Stability Board, FSB Framework for Strengthening Adherence to International Standards. Financial Stability Board, Improving Financial Regulation (2009). Financial Stability Board, Organization Chart, http://www.fsb.org/wp-content/uploads/FSB-Organisation-Chart-as-of-21-Apr-2015.pdf. Financial Stability Board, Recovery and Resolution Planning: Making the Key Attributes Requirements Operational, November 2012. Financial Stability Forum, Report of the Financial Stability Forum on Addressing Procyclicality in the Financial System (2009). G20, Communique G20 Leaders Summit – Cannes – 3-4 November 2011. G20, Declaration on Strengthening the Financial System – London Summit, 2 April 2009. G20, G20 Leaders Statement: The Pittsburgh Summit, September 24 – 25 (2009). G20, The Global Plan for Recovery and Reform, April 2009. G20, What is the G-20, http://www.g20.org/about_what_is_g20.aspx. International Association of Insurance Supervisors, International Association of Insurance Supervisors By-Laws. International Association of Insurance Supervisors, Insurance Core Principles and Methodology 2003, http://www.iaisweb.org/__temp/Insurance_core_principles_and_ methodology.pdf International Organization of Securities Commissions, A Resolution of the Presidents' Committee on the IOSCO MOU, May 2002, http://www.iosco.org/library/resolutions/pdf/IOSCORES21.pdf. International Organization of Securities Commissions, A Resolution on the Relocation of the IOSCO General Secretariat to Madrid (1999). International Organization of Securities Commissions, Annual Report 2008, http://www.iosco.org/annual_reports/annual_report_2008/generalInformation3.html. International Organization of Securities Commissions, By-laws of the International Organization of Securities Commissions, https://www.iosco.org/library/by_laws/pdf/IOSCO-By-Laws-Section-1-English.pdf. 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International Organization of Securities Commissions, Presidents Committee, Resolution on IOSCO’s Mission, Goals and Priorities (2010), http://www.iosco.org/library/resolutions/pdf/IOSCORES26.pdf. International Organization of Securities Commissions, Presidents Committee, Resolution on IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information, September 2014, http://www.iosco.org/library/resolutions/pdf/IOSCORES50.pdf. International Organization of Securities Commissions, Technical Committee, Strengthening Capital Markets against Financial Fraud, February 2005, http://www.iosco.org/library/pubdocs/pdf/IOSCOPD192.pdf. Llewellyn, David & Maureen Tehan, “Treaties”, “Agreements”, “Contracts” and “Commitments” - What's in a Name? The Legal Force and Meaning of Different Forms of Agreement Making, Melbourne Law School: Legal Studies Research Paper, No. 134, Oct 2004, http://ssrn.com/abstract=815324. Memorandum of Understanding Between the Financial Supervisory Commission, Taiwan and the State of New York Banking Department Concerning Mutual Cooperation, Nov. 30, 2006, FSC-NYSBD, http://no06.mofa.gov.tw/mofatreatys/ShowPicOut.aspx?FileFolder=00&FileName=00267_C.pdf. Memorandum of Understanding between the Money Laundering Prevention Center and the Financial Crimes Enforcement Network Concerning Cooperation in the Exchange of Information Related to Money Laundering and Terrorist Financing, May 27, 2008, US-ROC, http://no06.mofa.gov.tw/mofatreatys/ShowPicOut.aspx?FileFolder=00&FileName=00141_C.pdf Memorandum of Understanding To Establish Mutually Acceptable Means For Improving International Law Enforcement Cooperation in the Field of Insider Trading, August 31, 1982, United States-Switzerland, 22 I.L.M. 1 (January 1983). Nelson, Rebecca M., The G-20 and International Economic Cooperation: Background and Implications for Congress*1 (Cong Rsrch Serv Aug 10, 2010), www.fas.org/sgp/crs/row/R40977.pdf. Papadopoulos, Thomas, International Organization of Securities Commissions (IOSCO), in Oxford Public International Law: Max Planck Encyclopedia of Public International Law (2014). Restatement (Third) of the Foreign Relations Law of the United States (1987). The Future of the G20 Process, http://www.cigionline.org/publications/2010/11/future-g20-process. The Technical Committee of the IOSCO, Code of Conduct Fundamentals for Credit Rating Agencies, December 2004, http://www.treasurers.org/node/3134. Treaty Between the United States of America and the Swiss Confederation on Mutual Assistance in Criminal Matters, May 25, 1973, United States-Switzerland, 27 U.S.T. 2021, T.I.A.S. No. 8302 (effective date Jan. 23, 1977). Treaty Section, Legal Directorate, Foreign and Commonwealth Office, Treaties and Memoranda of Understanding (MOUs), Second Edition April 2000, Updated March 2014, https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/293976/Treaties_and_MOU_Guidance.pdf. U.S. Securities and Exchange Commission, Press Release No. 2013-131, SEC, European Regulators Establish Supervisory Cooperation Arrangements Related to the Asset Management Industry, https://www.sec.gov/News/PressRelease/Detail/PressRelease/1370539728294. White, Mary Jo, The Challenge of Coverage, Accountability and Deterrence in Global Enforcement, Speech at IOSCO 39th Annual Conference, Rio de Janiero, Oct. 1, 2014, https://www.sec.gov/News/Speech/Detail/Speech/1370543090864. World Trade Organization, Understanding the WTO (2015). 三、日文部分(按筆劃排列) (一)書籍 中山信弘=藤田友敬編,ЛиЬ①みソ基礎理論,有斐閣(2008)。 森下忠,刑事司法ソ国際化,成文堂(1990)。 (三)日本法律 金融商品取引法 四、德文部分(按字母順序排列) (一)德國法律 Bundesdatenschutzgesetz Gesetz über den Werpapierhandel (二)瑞士法律 Schweizerisches Strafgesetzbuch [STGB] art. 273 Fassung gemäss Ziff.I des BG vom 7. Okt. 2005, in Kraft seit 1. Febr. 2006 (AS 2006 197, BBl 2004 6747). (三)瑞士聯邦法院判決 Z.B. BGE 128 II 497, Erw. 6.2 oder BGE 2A. 246/006, Erw. 5.4. BGE 2A. 13/2007, Erw. 8. BBI 2004 6764 und BGE 2A.170/2006, Erw. 2.1.2. BBI 2004 6765 und BGE 2A. 649/2006. Erw. 5. | |
dc.identifier.uri | http://tdr.lib.ntu.edu.tw/jspui/handle/123456789/59835 | - |
dc.description.abstract | 為因應全球化下的金融系統風險,國際社會以G20及FSB為首,協調統合諸多國際金融監理組織,形成各國金融監理者組成之「跨政府網絡」。此種由各國金融監理者直接組成之網絡,有別於傳統國際組織,以不具法律拘束力之「軟法」,進行跨國之金融監理合作。本文先從跨國金融監理規範的「軟法」性質切入,探討金融監理機關進行跨境合作時經常仰賴的金融監理瞭解備忘錄(即MOU)之意義、內容、法律性質為何。其次提出金融監理MOU 對我國金融監理機關與司法機關在跨境案件之調查上可能帶來之助益。最後論述在全球化潮流下,我國廣泛簽署MOU 擴大國際參與,我國內國法制應如何配套因應。其中,相關法律內容的建構,以及主管機關依據金融監理MOU自外國取得之資料應如何利用、評價的問題,是本文的討論重點。 | zh_TW |
dc.description.abstract | Global governance in the field of international financial regulation is dominated by “networks” and “soft law.” Networks of financial regulators worldwide, such as FSB, BCBS, or IOSCO, form the backbone of modern day efforts in harmonizing international financial legal norms and facilitating cross-border information exchange. These “transgovernmental networks” are distinct from international organizations in terms of their organizational form, composition, and the way they operate. One major characteristic is that they achieve regulatory ends through a set of legally non-binding norms called “soft law.” Though international financial soft law has no binding legal force, it is widely used as the main instrument for coordinating efforts in regulating global financial markets.
Memoranda of Understanding, hereinafter MOUs, are a type of international financial soft law instrument commonly used for the purpose of exchanging cross-border financial information. This thesis intends to explore MOUs in terms of their contents, legal form, and effects. In addition, as in recent years the Taiwanese government actively engaged in signing MOUs with its foreign counterparts, this thesis also explores how MOUs would be beneficial in enhancing Taiwanese regulators’ capacity in handling cross-border cases, specifically focusing on combating financial crimes committed via offshore companies. This thesis proposes guidance as to how information obtained via MOUs should be evaluated, as compared with evidence obtained through formal international legal assistance. And finally, this thesis points out rooms for improvement in Taiwanese domestic laws relating to MOUs. | en |
dc.description.provenance | Made available in DSpace on 2021-06-16T09:40:26Z (GMT). No. of bitstreams: 1 ntu-106-R01a21111-1.pdf: 1918804 bytes, checksum: 25fa97a2fd4814f4531f27242a6b106c (MD5) Previous issue date: 2017 | en |
dc.description.tableofcontents | 第一章 緒論 1
第一節 國際金融監理機制研究之重要性 — 從兆豐銀行受罰案切入 1 第二節 國際金融監理合作之必要性 2 第三節 問題意識與研究方法 4 第四節 本文架構 6 第二章 國際金融監理組織與架構 9 第一節 國際金融監理組織概述 9 第二節 G20 10 第一目 G20的成立背景與沿革 10 第二目 G20的運作與功能 11 第三節 金融穩定委員會 12 第一目 金融穩定委員會的成立背景與沿革 12 第二目 金融穩定委員會的成員 13 第三目 金融穩定委員會的組織結構 15 第四目 金融穩定委員會的職能 19 第四節 巴賽爾銀行監理委員會 20 第一目 巴賽爾銀行監理委員會之組織結構 20 第二目 巴賽爾銀行監理委員會之成員及其職責 22 第三目 巴賽爾銀行監理委員會之職責 22 第五節 國際證券管理組織機構 23 第一目 國際證券管理組織機構之成立 23 第二目 國際證券管理組織機構之宗旨 24 第三目 國際證券管理組織機構之法律定位 25 第四目 國際證券管理組織機構之組織結構 26 第五目 國際證券管理組織機構之會員制度 29 第六節 國際保險監理機關協會 30 第七節 小結:跨國金融監理「網絡」之形成 30 第一目 國際金融監理機構之特性 30 第二目 國際金融監理機構與傳統國際組織之區別33 第三目 國際金融監理機構與傳統國際經貿機構之區別34 第四目 「跨政府網絡」與新主權概念的形成 36 第三章 國際金融監理軟法與跨國金融法規整合 41 第一節 國際金融監理的「軟法」模式 41 第一目 「軟法」的意涵 41 第二目 國際金融監理之「軟法」模式 42 第二節 G20及FSB帶領下的全球金融監理法規整合趨勢 45 第一目 2008年金融危機後G20的重要峰會決議 45 第二目 FSB在全球金融監理改革下的角色 48 第三節 軟法在國際金融監理法規整合潮流中的作用 55 第一目 以多邊金融監理MOU促成資訊交換與法規整合55 第二目 金融監理評估報告與國際金融監理機構提出之建議57 第四節 小結:「由上而下」的國際金融監理改革 57 第一目 國際金融監理軟法事實上的拘束力 57 第二目 對於國際金融監理軟法的質疑 58 第三目 國際金融監理軟法之省思 59 第四章 國際金融監理合作與金融監理MOU 61 第一節 瞭解備忘錄 (MOU)之意涵 61 第二節 金融監理MOU之意涵 61 第三節 多邊金融監理MOU:以IOSCO MMOU為例 63 第一目 IOSCO MMOU之沿革 63 第二目 IOSCO MMOU之內容 65 第四節 雙邊金融監理MOU 72 第一目 雙邊金融監理MOU之常見內容 73 第二目 我國簽署雙邊金融監理MOU之情形 73 第三目 雙邊金融監理MOU之內容:以臺美銀行監理MOU為例74 第四目 海峽兩岸金融監理MOU 76 第五節 金融監理MOU之法律性質與效力 78 第一目 金融監理MOU之定性 78 第二目 金融監理MOU之效力 83 第六節 金融監理MOU與其他國際法律文件之區別 84 第一目 金融監理MOU與貿易協定之區別 84 第二目 金融監理MOU與司法互助條約、協定之區別 86 第五章 金融監理MOU與跨境金融案件之調查 89 第一節 租稅庇護所與境外公司 89 第一目 租稅庇護所概述 89 第二目 境外公司概述 89 第三目 境外金融業務單位與OBU帳戶 90 第四目 利用境外公司從事不法犯罪之態樣 91 第五目 跨境調查境外公司不法案件之挑戰 96 第二節 金融監理MOU與跨境金融案件調查模式:美國法之觀察 97 第一目 美國證券管理委員會之跨國金融監理合作 97 第二目 同步調查 98 第三目 透過金融監理MOU之單純資訊取得 98 第四目 同步調查與資訊取得並行之合作模式 99 第三節 調查境外證券不法案件之研究:以美國瑞士金融監理互助為例 100 第一目 外國之保密法案與調查權力之界限 100 第二目 Santa Fe案 102 第三目 瑞士現行國際證券監理互助之架構 115 第四節 國際金融監理合作與我國金融案件之調查 117 第一目 MOU於我國證券不法案件調查之可能運用 117 第二目 金融監理MOU與國際刑事司法互助之關連性 121 第六章 國際金融監理合作下之我國內國法制建構 125 第一節 主管機關與外國機構簽署金融監理MOU之法源依據 125 第一目 國民主權原則與金融監理MOU之簽署 125 第二目 主管機關與外國機構簽署金融監理MOU之法源依據 — 以IOSCO MMOU為例 127 第三目 我國現行法律之檢討 128 第二節 依金融監理MOU提供資訊予外國金融監理機關之法制建構 129 第一目 資訊提供之主體與其間之關係 129 第二目 依法行政原則與金融監理資訊之提供 130 第三目 比較法之觀察 132 第四目 我國現行法律之檢討:跨國監理效能與人權保障之權衡 138 第三節 依金融監理MOU自外國金融監理機關取得資訊之法制建構 140 第一目 問題之提出 140 第二目 金融監理MOU之保密義務與司法機關利用資料之可能性 141 第三目 「情資」或「證據」?自外國金融監理機關取得資訊之評價 149 第七章 結論 155 參考文獻 159 | |
dc.language.iso | zh-TW | |
dc.title | 國際金融監理軟法與瞭解備忘錄(MOU)之研究 | zh_TW |
dc.title | A Study on International Financial Soft Law and Memoranda of Understanding | en |
dc.type | Thesis | |
dc.date.schoolyear | 105-1 | |
dc.description.degree | 碩士 | |
dc.contributor.oralexamcommittee | 莊永丞,朱德芳 | |
dc.subject.keyword | 跨政府網絡,軟法,金融監理,瞭解備忘錄,MOU,IOSCO MMOU,境外公司,資訊交換,國際刑事司法互助, | zh_TW |
dc.subject.keyword | transgovernmental network,soft law,financial regulation,MOU,IOSCO MMOU,offshore company,information exchange,mutual legal assistance, | en |
dc.relation.page | 175 | |
dc.identifier.doi | 10.6342/NTU201700382 | |
dc.rights.note | 有償授權 | |
dc.date.accepted | 2017-02-08 | |
dc.contributor.author-college | 法律學院 | zh_TW |
dc.contributor.author-dept | 法律學研究所 | zh_TW |
顯示於系所單位: | 法律學系 |
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